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DW

Daiji Wada

Some features on this profile are disabled
CRD#: 4946533
DW

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Daiji Wada was a registered financial professional .

Daiji is a previously registered financial professional and started their career in finance in 2005. Daiji had worked at 4 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 29, 2018 - August 5, 2019

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

RIA
CRD#: 8478
INDIANAPOLIS, IN
Past

October 29, 2018 - August 5, 2019

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

BD
CRD#: 8478
INDIANAPOLIS, IN
Past

May 13, 2016 - October 23, 2018

SIGNATOR INVESTORS, INC.

RIA
CRD#: 468
INDIANAPOLIS, IN
Past

May 13, 2016 - October 23, 2018

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
INDIANAPOLIS, IN
Past

September 29, 2010 - May 13, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
CRD#: 16164
INDIANAPOLIS, IN
Past

September 29, 2010 - May 13, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
INDIANAPOLIS, IN
Past

July 18, 2005 - October 2, 2008

WADDELL & REED

RIA
CRD#: 866
LOUISVILLE, KY
Past

June 8, 2005 - October 2, 2008

WADDELL & REED

BD
CRD#: 866
LOUISVILLE, KY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/22/2005
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/16/2005
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 6/7/2005
Investment Company Products/Variable Contracts Representative Examination

Current Firm

TS
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
ADAMS COUNTY FINANCIAL RESOURCES | WESLEY BATES WEALTH MANAGEMENT | TRILOGY WEALTH MANAGEMENT | THURSTON, SPRINGER, MILLER, HERD & TITAK, INC. INSURANCE AGENCY | THURSTON, SPRINGER, MILLER, HERD & TITAK, INC. | THURSTON, SPRINGER, MILLER & HERD, INC. | THURSTON, SHUMAKER, MILLER & BURKE, INCORPORATED | THURSTON, MILLER & BURKE, INC. | THURSTON SPRINGER RETIREMENT SERVICES | THURSTON SPRINGER FINANCIAL | THE BARTHEL AGENCY | TARGETED RETIREMENT STRATEGIES | SPRAWLS FINANCIAL | SPENCER FINANCIAL STRATEGIES | RETIREMENT AND ESTATE PLANNING SERVICES | ONTRACK CAPITAL MANAGEMENT | LIBERTY CONSULTING | LAVELLE FINANCIAL | JKS INVESTMENT MANAGEMENT OF THURSTON SPRINGER | INVESTMENT STRATEGIES | INTEGRITY WEALTH SOLUTIONS | DAMER WEALTH MANAGEMENT | CRAVENS, LLC | COHEN CAPITAL MANAGEMENT | CHIDDISTER FINANCIAL ASSOCIATES | CERULEAN CAPITAL MANAGEMENT, LLC | BCT FINANCIAL | BAYLEY INVESTMENT GROUP | BALDASSARI ADVISORY | AMERICAN PENSION ADVISORS

CRD#: 8478 / SEC#: 801-63564, 8-25452

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
PREMIUM
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Contact information

Main Address
9000 Keystone Crossing Suite 700, Indianapolis, IN 46240
Mailing Address
9000 Keystone Crossing Suite 700, Indianapolis, IN 46240-2142
Phone number
(317) 581-4000
Established
Indiana since 09/12/1980
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
FINANCIAL SERVICES HOLDINGS, LLCSOLE SHAREHOLDER
COKER, KAREN LE'ELLENCHIEF RISK OFFICER2731928
MUELLER, CHRISTOPHER BRIANCHIEF OPERATIONS OFFICER2098597
PARKER, RICHARD WILSONCEO5497397
REYNOLDS, MATTHEW MARKPRESIDENT / FINOP / PFO / POO/CCO4077413
RUDNICK, REGINA MARYHEAD OF ADVISOR SERVICES2373530
TAYLOR, CHRISTIAN GABRIELCHIEF COMPLIANCE OFFICER5462381
TITAK, JAMES JOHNCHAIRMAN OF THE BOARD1008441

Disclosures

Regulatory Event3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

CRD#: 8478

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